Ngai Ho Shum
沈毅豪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ngai Ho Shum (沈毅豪), a licensed Responsible Officer with CE reference ALV094. Currently licensed at 2 firm(s): Arta Global Markets Limited, Arta Global Futures Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 13.
More firms doing Dealing in securities →More firms doing Dealing in futures contracts →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Arta Global Markets Limited 裕承環球巿場有限公司 |
Rep | Type 9 — Asset management | 2024-06-12 | present |
| Arta Global Markets Limited 裕承環球巿場有限公司 |
RO | Type 1 — Dealing in securities | 2022-12-14 | present |
| Arta Global Futures Limited 裕承環球期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2022-12-14 | present |
| Arta Global Markets Limited 裕承環球巿場有限公司 |
RO | Type 4 — Advising on securities | 2022-12-14 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-04 | 2022-03-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-04 | 2022-03-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-11-04 | 2022-03-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2016-11-04 | 2022-03-01 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2016-09-08 | 2016-11-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-04 | 2016-11-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-10-13 | 2016-11-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-03-24 | 2016-11-04 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-03-24 | 2011-01-27 |